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ChrisP5 (Missouri)
Posts: 165
Posted:
11 months ago our board voted to open a CD with different bank than where we keep our savings and operating accounts. Our management company processed the paperwork and cut a check and mailed it to the bank to open the CD. The CD showed up on our financial statements as an asset and the check showed up on our check register. Our auditor discovered that the check was never cashed and the CD was never opened. The funds never left our operating account. Ultimately this cost us about $500 in interest that would have been earned.

Our management company has acknowledged the error in their internal processes and indicates it has been resolved. The person reconciling bank accounts apparently never bothered to report up the chain of command such a large check was still outstanding. Our treasurer didn't review the bank statements and compare them to the check register to notice an unusually large balance in our operating account vs. the check register that we receive with our monthly financials. I occasionally noticed that no interest had been recorded to the CD balance but failed to question it during board meetings. Needless to say the ball was dropped on several fronts on this matter.

Our MC has agreed to reimburse the association the interest lost which is great. Our financial state has improved from just having a few thousand dollars in the bank at any given time to a well funded reserve that requires us to utilize more than 1 bank to stay under FDIC coverage limits. Other than increased oversight from our treasurer and board any other thoughts on this matter and future steps to move forward particularly as we continue to grow our reserves? If we fully fund our reserve study we will ultimately need a relationship with quite a few banks before some very large expenses cause us to spend the vast majority of our reserves.
TimB4 (Tennessee)
Posts: 21,059
Posted:
Well it appears the MC owned up to the issue and tried to make it right.

My question would be, was interest on the CD being shown as income? If it was, that's a concern.

Why didn't the Board get a copy of the CD? That may also be a concern.

A MC can be a great tool for a Board (and based on your post, it sounds like you have one who is ethical). However, it's still the Boards responsibility to make sure things are actually done. Place some of the blame on the Board as well as the MC, use it as a lesson and develop policies for the Board to catch these type of errors earlier.
GenoS (Florida)
Posts: 4,276
Posted:
I can only suggest being more diligent in reviewing the monthly financial reports. I would be way more concerned that so many people were asleep at the switch and failed to exercise basic oversight than I'd be about the loss of a few hundred dollars in interest. I find that most troubling.
ChrisP5 (Missouri)
Posts: 165
Posted:
Quote:
Posted By TimB4 on 01/14/2016 4:40 PM
Well it appears the MC owned up to the issue and tried to make it right.

My question would be, was interest on the CD being shown as income? If it was, that's a concern.

Why didn't the Board get a copy of the CD? That may also be a concern.


Interest wasn't being reported in the financials which is where I noticed it but also failed to question as some prior CDs have only reported interest quarterly, etc. I absolutely agree that we should have been more diligent as a board.

You raise a very good question about getting a copy of the CD, would an MC typically send a copy to the board or at least treasurer? In y several years on the board I don't recall ever getting these. It may be common practice that our manager just doesn't do.

Do most boards also receive copies of their bank statements along with the financial statements each month? When I was treasurer I specifically requested them from our MC and assumed our current treasurer was but it turns out that wasn't the case.

NpS (Pennsylvania)
Posts: 4,216
Posted:
Quote:
Posted By ChrisP5 on 01/14/2016 5:03 PM
Do most boards also receive copies of their bank statements along with the financial statements each month?


Great story Chris. The good news is no one from your board or your MC is going to let things slide for quite some time.

Re your question about receiving bank statements - We have our banks mail bank statement copies directly to the board in addition to our MC. No chance of tampering docs that way.

Sikubali jukumu. Read all posts at your own risk.
PitA
Posts: 1,416
Posted:
[quote]Our treasurer didn't review the bank statements and compare them to the check register to notice an unusually large balance in our operating account vs. the check register that we receive with our monthly financials.


Y'all are, in fact, governed by corporate law.

Your treasurer is guilty of mis-feasance. (treasurer has SPECIFIC obligations)

Your BOD is guilty of non-feasance.

Put policies in place to actually check financials monthly.

(Trust, but VERIFY)

Move on.
MelissaP1 (Alabama)
Posts: 13,836
Posted:
Is your HOA a for profit or non-profit? The reason I ask is the purpose of buying a CD or other investment strategies. A non-profit is only to collect the amount needed to pay it's bills plus a Capital savings fund. Otherwise, you can be charged tax for any profits made off those CD's. I would only use them if it was for long term capital improvement type funds that can take that kind of hit and not needed as fluid cash.

I find some boards try to run their HOA's similar to their own personal budgets. Which then can cause some issues. Unlike your home budget, your NOT trying to make more money. You are just trying to meet your bills. I also like to say it's like leaving your checkbook on the dining room table for the whole family to see/be involved. You may be the "Mommy and Daddy" on the account but the "Kids/general members" have a right to know what you do with it. Plus make their own requests.

Make sure your mindsets are right and relationship with your MC is. They are a CONTRACTOR to your HOA. Your board should be making the decisions on the budget and then have them do the accounting/write the checks. Having your MC control other aspects of your HOA can blur the lines. Make sure if you want them to do things like invest in CD's, issue violations, or be present at meetings is in the contract. Otherwise, your board has some lines to put in the ground.

Former HOA President
MarkM31 (Washington)
Posts: 351
Posted:
With todays interest rates, nobody makes money off of CD's. If the total was $500, then the principal must be whopping.
RichardP13 (California)
Posts: 3,868
Posted:
In 2007, my association made $45K on reserve interest, last year we made $20K. Pay 15% tax, you have a nice sizable amount for other projects.

"Mommy and Daddy" HOA accounting, are your serious? This is a business!
MarkM31 (Washington)
Posts: 351
Posted:
Quote:
Posted By RichardP13 on 01/15/2016 9:12 AM
In 2007, my association made $45K on reserve interest, last year we made $20K

Wow

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